Key Responsibilities:
- Regulatory Compliance: Monitor and interpret regulations affecting the bond market, ensuring that all trading activities comply with relevant laws and regulations.
- Risk Assessment: Conduct comprehensive risk assessments related to bond transactions and recommend appropriate controls and mitigation strategies.
- Policy Development: Develop, implement, and update compliance policies and procedures specific to bond trading and investment operations.
- Monitoring and Reporting: Oversee the monitoring of trading activities and compliance with internal policies; prepare reports for senior management and regulatory bodies as required.
- Audit Support: Assist in audits and examinations by regulatory authorities, ensuring all required documentation and responses are accurate and timely.
- Stakeholder Collaboration: Work closely with other departments (e.g., Legal, Risk Management, Trading) to promote a culture of compliance and address compliance-related issues.
Qualifications:
- Education: Bachelors degree in Finance, Business Administration, Law, or a related field
- Experience: Minimum of 3-5 years of compliance experience, with a specific focus on bond markets and fixed-income instruments.
- Knowledge: Strong understanding of bond market regulations, industry practices, and compliance frameworks.
- Technical Proficiency: Familiarity with compliance monitoring tools and regulatory reporting systems.
Preferred Qualifications:
- Experience with international bond markets and cross-border compliance issues.
- Proven track record of developing and implementing compliance programs in a financial services environment.